《通用人工智能行为准则》解读及其对人工智能大模型归档的启示

王孟涵, 吴志杰, 张静

知识管理论坛 ›› 2026, Vol. 11 ›› Issue (4) : 0.

知识管理论坛 ›› 2026, Vol. 11 ›› Issue (4) : 0. DOI: 10.13266/j.issn.2095-5472.2026.029  CSTR: 32306.14.j.issn.2095-5472.2026.029
研究论文

《通用人工智能行为准则》解读及其对人工智能大模型归档的启示

作者信息 +

The General-Purpose AI Code of Practice:Interpretation and Archival Implications for AI Models

Author information +
文章历史 +

摘要

[目的/意义] 人工智能大模型的开发与应用具有分级监管风险、全生命周期动态治理等特殊要求,使得其归档有着不同于一般信息管理系统或平台归档的特殊性。对AI大模型归档研究,有助于适应当前人工智能发展形势,丰富档案管理工作。[方法/过程] 以《通用人工智能行为准则》为研究对象,分别运用BERTopic模型进行主题识别以梳理《准则》中关于AI大模型开发与应用的要求与主要风险,运用DeepSeek V4模型进行内容抽取以归纳面向风险治理的举措及其形成的文件材料。在此基础上,从强调分级监管AI大模型风险、实施全生命周期动态治理及注重完善治理架构3个方面系统分析与解读《准则》,并探讨档案部门作为后端管理主体应如何主动应对上述要求与风险。[结果/结论] 基于上述分析,本文提出档案部门可从实施与风险治理相适应的分级归档、明确AI大模型全生命周期的归档要求以及完善面向风险治理的文件材料归档范围3个方面着手,为我国开展人工智能大模型归档工作提供参考。

Abstract

[Purpose/Significance] The development and application of AI models are subject to specific regulatory requirements covering tiered risk regulation and dynamic full-lifecycle governance, resulting in archiving characteristics distinct from those of conventional information management systems or platforms. Research on the archiving of AI models can keep pace with the evolving landscape of artificial intelligence and enrich both the theory and practice of archival management. [Method/Process] This paper took the General-Purpose AI Code of Practice as the research object. It applied the BERTopic model for topic identification to outline the requirements and major risks concerning the development and application of AI models in the Code of Practice, and employed the DeepSeek V4 model for content extraction to summarize the documents and materials formed for risk governance. Based on this, the paper systematically analyzed and interpreted the Code of Practice from three dimensions: emphasizing tiered risk regulation for AI models, implementing dynamic full-lifecycle governance, and discussed how archival institutions, as back-end management subjects, should actively respond to the above requirements and risks. [Result/Conclusion] Based on the above analysis, this paper proposes that archival institutions can advance the archiving of AI models from three dimensions: implementing tiered archiving matching risk governance, clarifying full-lifecycle archiving specifications, and optimizing the scope of records collection oriented toward risk management, to provide references for the domestic practice of AI models archiving in China.

关键词

《通用人工智能行为准则》 / 人工智能大模型归档 / 风险治理 / 全生命周期归档

Key words

the General-Purpose AI Code of Practice / archiving of AI models / risk management / full lifecycle archiving

引用本文

导出引用
王孟涵 , 吴志杰 , 张静. 《通用人工智能行为准则》解读及其对人工智能大模型归档的启示[J]. 知识管理论坛. 2026, 11(4): 0 https://doi.org/10.13266/j.issn.2095-5472.2026.029
Wang Menghan , Wu Zhijie , Zhang Jing. The General-Purpose AI Code of Practice:Interpretation and Archival Implications for AI Models[J]. Knowledge Management Forum. 2026, 11(4): 0 https://doi.org/10.13266/j.issn.2095-5472.2026.029
中图分类号: G270   

参考文献

[1]
贺谭涛.档案学视角下的人工智能文档: 范畴界定、管理挑战与探索方向[J]. 档案学通讯, 2026(4): 39-47.
He Tantao. Artificial intelligence documentation from the perspective of archival[J]. Archives science bulletin, 2026(4): 39-47.
[2]
连志英, 蒋玲.面向人工智能治理的人工智能文档的作用及其构成研究[J]. 图书情报工作, 2026, 70(9): 148-156.
Lian Zhiying, Jiang Ling. Research on the role and composition of AI documentation for AI governance[J]. Library and information service, 2026, 70(9): 148-156.
[3]
张茜雅, 刘越男.并行数据: 人工智能应用背景下档案管理的新议题[J]. 浙江档案, 2025(7): 14-19.
Zhang Qianya, Liu Yuenan. Paradata: a new issue in archival management in the context of artificial intelligence applications[J]. Zhejiang archives, 2025(7): 14-19.
[4]
王阿陶.“算法档案”的概念内涵、治理理念与实现机制[J]. 档案学研究, 2026(2): 30-39.
Wang Atao. Concept, governance philosophy and practical mechanism of “algorithmic archive”[J]. Archives science study, 2026(2): 30-39.
[5]
连志英, 苏立.档案学视角下算法来源的内涵及其要素构成[J]. 档案学通讯, 2025(3): 29-37.
Lian Zhiying, Su Li. Archival science perspectives on algorithm provenance: concepts and components[J]. Archives science bulletin, 2025(3): 29-37.
[6]
裴佳杰, 张斌.AIGC归档的逻辑理路与冲突解构[J]. 情报科学, 2025, 43(8): 100-108.
Pei Jiajie, Zhang Bin. The theoretical logic and conflict deconstruction of AIGC archiving[J]. Information science, 2025, 43(8): 100-108.
[7]
王玉珏, 樊静雅, 温翰英.人工智能生成合成内容的可信存档策略研究——基于对电子档案“四性”的思考[J]. 北京档案, 2025(4): 22-29.
Wang Yujue, Fan Jingya, Wen Hanying. Research on trusted archiving strategies for artificial intelligence generated content: based on reflections on the four characteristics testing of electronic archives[J]. Beijing archives, 2025(4): 22-29.
[8]
Grootendorst M. BERTopic: neural topic modeling with a class-based TF-IDF procedure[PP/OL]. arXiv(2023-03-11)[2026-07-24].
[9]
蔡盈芳.科学界定科研文件材料的归档范围并准确划分科研档案保管期限[J]. 中国档案, 2021(5): 44-45.
Cai Yingfang. To scientifically define the archival scope of research documentation and accurately establish the retention periods for research archives[J]. China archives, 2021(5): 44-45.
[10]
深度求索.DeepSeek-V4预览版: 迈入百万上下文普惠时代[EB/OL]. [2026-05-30].
DeepSeek. DeepSeek-V4 preview: entering the era of accessible million-token context[EB/OL]. [2026-05-30].
[11]
徐拥军, 闫静.中国特色档案学的基本范畴与核心命题[J]. 中国图书馆学报, 2024, 50(3): 30-46.
Xu Yongjun, Yan Jing. The basic categories and core propositions of archival science with Chinese characteristics[J]. Journal of library science in China, 2024, 50(3): 30-46.
[12]
田泽懿, 张靖琦.基于生命周期的大模型安全审视: 风险梳理与防范机制[J]. 工业信息安全, 2025(4): 20-28.
Tian Zeyi, Zhang Jingqi. Security review of large language models based on the lifecycle: risk identification and prevention mechanisms[J]. Industry information security, 2025(4): 20-28.

Accesses

Citation

Detail

段落导航
相关文章

/